Caren Cafferata Jenkins (Insert Applicant Name)
COMMISSION ON JUDICIAL SELECTION
APPLICATION
SECOND JUDICIAL DISTRICT COURT DEPARTMENT 14
By
_Caren Cafferata Jenkins _ (Insert applicant name)
1 Application Deadline: 5:00 p.m., Friday, March 8, 2018 (QUESTIONS 1 THROUGH 47)
Personal Information
1. Full Name: Caren Cafferata Jenkins
2. Have you ever used or been known by any other legal name (including a maiden name)? If so, state name and reason for the name change and years used. My birth name is Caren Jenkins. When I married, I changed my surname to Cafferata-Jenkins, and, through my divorce decree, the hyphen was dropped and I took Cafferata as my middle name.
3. Work Address: 18124 Wedge Parkway #158, Reno NV 89511
4. How long have you been a continuous resident of Nevada? I have lived in Nevada from 1984 through 1998, and from 2002 to the present, for a total of 31 years.
5. Age: 60 (NRS 3.060 states that a district judge must be at least 25 years old.)
Employment History
6. Using the format provided in Attachment “A” please start with your current employment or most recent employment, self-employment, and periods of unemployment for the 20 years immediately preceding the filing of this Application.
Educational Background
7. List names and addresses of high schools, colleges and graduate schools (other than law school) attended; dates of attendance; certificates or degrees awarded; reason for leaving.
1980-84, Golden Gate University, Master of Arts degree, Arts Admin./Non-profit Mgmt. 1977-80, Penn State University, Bachelor of Science degree, Recreation & Parks 1976-77, University of Pittsburgh undergraduate coursework, transferred to Penn State 1972-76, York Suburban High School, High School diploma
8. Describe significant high school and college activities including extracurricular activities, positions of leadership, special projects that contributed to the learning experience.
High School: French interpreter/Emcee for Pennsylvania Ambassadors of Music’s month-long European tour, President of Temple Beth Israel Youth Group, statewide co-songleader for Pennsylvania Federation of Temple Youth, actor in various school and community theatre productions, member of high school marching band (B-flat cornet), summer camp counselor, received Optomists Club youth leadership award.
College: Resident assistant in college dormitories (2 years), founded non-profit to produce campus performing arts series, leader of several campus clubs and groups related to music, sexuality and community volunteerism. 3 Application Deadline: 5:00 p.m., Friday, March 8, 2018
9. List names and addresses of law schools attended; degree and date awarded; your rank in your graduating class; if more than one law school attended, explain reason for change.
1993-96, Golden Gate Univ. School of Law, 536 Mission St., San Francisco CA, Juris Doctor degree conferred May 1996, ranked in top 22% of graduating class
10. Indicate whether you were employed during law school, whether the employment was full-time or part-time, the nature of your employment, the name(s) of your employer(s), and dates of employment.
I worked in various legal environments throughout law school, except during my first year, when such activity was highly discouraged. I was intent to incur as little student loan debt as possible, and hoped to explore areas of practice to pursue after obtaining my degree. The positions included:
- Intern, Chief Judge Thelton Henderson, U.S. District Court, N.D. Cal., full-time, 8/95-12/95 - Law Clerk, Gladstone & Vettel, LLP, real estate litigation, part-time, 5/95-1/96 - Intern, Judicial Council for the Ninth Circuit, Office of the Circuit Exec., part-time, 1/95- 5/95 - Teaching Assistant, Contracts, Golden Gate Univ. School of Law, part-time, 9/94-5/95 - Summer Associate, Office of the San Francisco City Attorney, full-time, 5/94- 9/94 - Student Trainer, WESTLAW online legal research software, part-time, 08/94-5/96
11. Describe significant law school activities including offices held, other leadership positions, clinics participated in, and extracurricular activities.
Justice Rose E. Bird Award for Professionalism and Integrity (selected by law school faculty). Comment Writer and Published Author, Ninth Circuit Survey, GGU Law Review, 1995. Chief Editor, Ninth Circuit Survey, Golden Gate University Law Review, 1996. Finalist, Appellate Advocacy Moot Court Competition, 1995. Dean's List, 1994-96. Scholarship Recipient, 1994-96. Law Student Representative, Bay Area Lawyers for Individual Freedom, Board of Directors, Committee Chair, Newsletter Editor, 1994 - 1996. Lambda Legal Defense and Education Fund, volunteer. Homeless Advocacy Center, volunteer. Public Interest Law Foundation, member and volunteer. Invited Speaker, numerous GGU Law School Recruitment Office events. Member, GGU Jewish Law Students. Member, GGU LEGALS (Lesbian & Gay Law Students), organized marriage equality events.
4 Application Deadline: 5:00 p.m., Friday, March 8, 2018
Law Practice
12. State the year you were admitted to the Nevada Bar. I was admitted to practice in Nevada state and federal courts in 1997.
13. Name states (other than Nevada) where you are or were admitted to practice law and your year of admission. I was admitted to practice in California state and federal courts in 1996, and admitted to practice before the Supreme Court of the United States in 2000.
14. Have you ever been suspended, disbarred, or voluntarily resigned from the practice of law in Nevada or any other state? If so, describe the circumstance, dates, and locations. Never.
15. Estimate what percentage of your work over the last 5 years has involved litigation matters, distinguishing between trial and appellate courts. For judges, answer questions 16-20 for the 5 years directly preceding your appointment or election to the bench.
For 7 of the past 9 years, I have served the State of Nevada in two positions - Executive Director of the Nevada State Board of Optometry and the Nevada Commission on Ethics in addition to maintaining a private law practice. In those roles with the State of Nevada, I handled over 100 public administrative complaints led the investigation, evidentiary and jurisdictional review as well as “just and sufficient cause” hearings before those boards.
In my current position, I am the lead prosecutor of alleged violations of state statutes and regulations for a professional licensing board. This administrative law activity comprises approximately one-third of my workload, with the remainder focused on public education; policy, regulatory and statutory development; and agency management.
However, over the course of my 25 year legal career, litigation has been my primary activity, involving 90% trial court litigation, litigation avoidance and dispute resolution. Family law and real estate litigation were my primary areas of practice.
16. Estimate percentage of time spent on (1) domestic/family and juvenile law matters, (2) civil litigation, (3) criminal matters, and (4) administrative litigation.
In the last 5 years, 65% of my private practice caseload has been domestic, family and juvenile matters, ,but creating and defending trusts and estates involving people with special needs or mental health conditions and protecting elder populations have taken center stage. The remainder have centered on civil matters and administrative litigation.
17. In the past 5 years, what percentage of your litigation matters involved cases set for jury trials vs. non-jury trials?
All litigation matters (100%) in the past 5 years have been non-jury trials. My litigation caseload in that period has been limited, as I am bound to avoid taking cases that may conflict with my service to the State. 18. Give the approximate number of jury cases tried to a conclusion during the past five years with you as lead counsel. Give the approximate number of non-jury cases tried to a decision in the same period. 5 Application Deadline: 5:00 p.m., Friday, March 8, 2018
A small number of my cases have proceeded to a bench trial or administrative hearing. I am skilled at dispute resolution, and settled the majority of conflicts I have handled, either at the outset of the conflict, following the discovery phase, or immediately before trial. I estimate that only 6 cases in the past 5 years have proceeded to the bench trial level, as the majority of my cases require simple filings and motions. I have handled only 2 jury trials in my entire legal career due to the nature of my practice.
19. List courts and counties in any state where you have practiced in the past 5 years. Washoe County, Second Judicial District Court Carson City, First Judicial District Court Douglas County, Ninth Judicial District Court Lyon County, Third Judicial District Court Washoe and Clark Counties, Nevada State Board of Optometry Administrative Hearings Lassen County, Superior Court of California San Francisco, Superior Court of California Santa Clara County, Superior Court of California
20. List by case name and date the five cases of most significance to you (not including cases pending in which you have been involved), and list or describe: a. case name and date, b. court and presiding judge and all counsel c. the importance of each case to you and the impact of each case on you, d. your role in the case.
Guardianship of DGT, 2003, Second Judicial District, Family Court, Judge Charles McGee presiding. I represented the Petitioner.
DGT, a special needs child, age 8, had been placed in foster care with Mom #1 almost six years before the hearing, and, after some time, Mom # 1 completed an adoption. Mom #1 and Mom #2 had been life partners for over 12 years, had a loving home and another child, a 10 year old daughter, adopted only by Mom #2. Five years after DGT joined the home, Mom #1 was diagnosed with cancer and died shortly thereafter. I represented Mom #2 to obtain guardianship over the person and estate of DGT. After requesting an expedited hearing and obtaining an interim order that DGT would not be removed to another foster care placement during the proceedings, I worked through the maze of the Department of Social Services, and shortly thereafter, DGT, his sister, Mom #2 and I appeared in Judge McGee's courtroom.
After hearing my legal arguments, Judge McGee directed questions to the Petitioner. asking why she was pursuing guardianship rather than adoption. Her answer was practical - - time and money. A guardianship proceeding was faster and less expensive than an adoption. He then asked whether Mom #2 would like to adopt DGT. Her demeanor immediately changed from grief and defeat to elation, and she immediately and enthusiastically responded. The judge asked me to draw adoption papers and file them without delay. Judge McGee entered an adoption order the next day.
DGT and his Mom were officially a family within 24 hours of the hearing. All in all, it was a very rewarding experience, and will be a lifetime memory that, sometimes. even in a courtroom, everyone can win. What's more, I successfully negotiated a reimbursement of nearly $3.000 in attorneys' fees for my client from the Department of Social Services.
This was among the first cases which drove me to become involved in CASA, serve on boards and committees to protect and advocate for abused and neglected children and volunteer for organizations
6 Application Deadline: 5:00 p.m., Friday, March 8, 2018 providing foster care. I served on the Austin’s House Board of Directors for many years, working to provide appropriate placements and/or adoptions for family groups and teens in the foster system in Douglas County and Carson City. I also became involved in the plight of children with mental health diagnoses, as services for that population are not readily available in Northern Nevada.
English v. English, 2004, First Judicial District-Carson City, Judge Michael Griffin presiding, Representing Wife: Sandra Mae Pickens. Representing Husband, Caren Jenkins.
This matter involved the discovery of evidence several years after entry of a divorce decree, and involved an issue of first impression for the Court. During the divorce proceedings. Wife secreted the fact that her mother had died and left her a sizeable estate in Australia. While the parties stipulated that the inheritance (then characterized as an expectancy) would be Wife's separate property, the divorce decree ordered that Husband pay lifetime alimony based, in large part, on the perception that Wife lacked access to an income stream or a financial safety net.
In supplemental briefing, the attorneys argued how the Court should consider this new evidence: i.e., whether the Court would have entered a different alimony order had this information been available at the time of the divorce, or whether the court should revisit the relative positions of the parties some two years after the decree was entered, and adjust the lifetime alimony with that perspective in mind. Between the divorce and the hearing, the Husband had wisely invested his share of the divided community property in real estate and other investments. And those assets’ value had increased, while the Wife had squandered her share on travel and shopping. By the hearing. she had only a small portion of her community property distribution left, presumably banking on a lifetime of substantial alimony income to support her lifestyle.
After oral argument, the Court ordered a minor reduction in Husband's alimony obligation. failing to adopt either of the approaches promoted by counsel. This ruling was significant because. despite reasonable suggested options and zealous advocacy. judges often face the difficult task of balancing justice and the rule of law against the reality of each case.
Sunseeds v. Tomas, 2001, Santa Clara County Superior Court, Santa Clara, CA, Representing Plaintiff: James Smith and Caren Jenkins of Squire Sanders & Dempsey
Sunseeds. an American seed company based in Morgan Hill, CA, distributes agricultural seed all over the world. Mr. Tomas had an exclusive distributorship for Sunseeds in Brazil. Filling an order from Tomas, Sunseeds shipped several containers of seed to the designated port in Brazil. Because the Brazilian authorities refused to process the import in a timely manner, the containers were left on the dock for several days during the rainy season. The seeds became wet, and either sprouted or developed mold, making them useless for crops. Although an allocation of the risk of loss was indicated in the Sunseeds order forms, allocating the risk to Sunseeds until the goods were received by the customer, the parties had not considered that if Mr. Tomas was dilatory in processing their arrival through the local authorities, a delay could take place over which Sunseeds would have no control.
Sunseeds sought to recover the value of the shipment from Tomas. and brought litigation alleging not only his breach of the implied covenant of good faith and fair dealing, but numerous other causes of action as well. The matter ended with a jury trial. but the parties never made a true effort to negotiate settlement. The plaintiffs expended substantial attorneys' fees and costs to make an example of Tomas, but forever scarred their long term business relationship.
This case had a significant impact on me. I realized that many aspects of that litigation could have been tempered by using collaborative approaches to dispute resolution. Often in contentious divorces, will
7 Application Deadline: 5:00 p.m., Friday, March 8, 2018 contests and business disputes, the long-term relationships between the pmiies suffer greatly. The destructive nature of the adversarial process may not be in the parties' best interests, as although one party might be seen to have "won." in the end, everybody loses. Judges make decisions about people they barely know, and about contracts introduced with the advocates' spin, and often though the judge can be an objective arbiter. he or she is rarely able to dictate the best resolution of a dispute. Of course, sometimes a courtroom is the best forum to resolve disputes, and every case must be considered on its own.
In re Eggen Family Trust, 2017, Santa Clara Superior Court, San Jose, CA, Representing Petitioner Distributee, Steve and Marek Yarbrough, Representing Respondent Trustee, Caren Jenkins
A family matriarch with three adult children and a number of grandchildren and great grandchildren lived to a ripe old age in her San Jose home. At the end of her life, for approximately 8 years, she had needed regular care, and that care was provided by her middle child, Frank, without complaint. Before her death, her eldest son had attempted to change himself to be successor trustee of her well-funded trust, but the family’s lawyer rebuked his attempts. The matriarch named Frank the successor trustee of the family trust, valued at approximately $5,000,000 in real estate, cash and personal property.
Upon her death, the sons became entangled in a battle of emotions. These feelings seeped into their ability to remain rational about the distribution of the family trust. The youngest sibling, a daughter, aged 74, had been eligible for Social Security Disability for many years, and was mentally and physically unable to participate in the disputes between the brothers, Animosity grew, allegations of theft and mishandling of the estate flew daily, and the brothers became less and less able to maintain their civility. Finally, the eldest brother brought a Petition to Remove Frank as trustee.
After nearly 2 years of ugly and expensive litigation, the parties agreed to participate in mediation through JAMS. Even the Court had become impatient with the motions, pleadings, requests for sanctions, demands for removal and other claims of the brothers. Each of the three siblings had independent representation and equally shared the mediations fees. Starting at 9 am, we slogged through demand after demand, refusal after refusal, and, at the 11th hour, came to consensus on how the trust would be distributed.
The outcome was far from the wishes of the Setllors of the Trust, and far from an equal distribution among the siblings. But the Trustee realized that neither he nor his siblings every had the comfort of a savings account before, and therefore, wouldn’t miss having a giant account rather than a very large one, after all was finished. He wisely wanted to patch his broken relationship with his brother, and be certain that his sister would be comfortable for the rest of her days. He retracted his demand for trustee fees, and was willing to accept whatever portion of the trust his siblings deemed to be “fair.” As his attorney, I was flabbergasted that he would retreat from his entitlement at that level. But his gesture also shocked his siblings. All of the parties came a bit closer together that night. Just after signing the Mediation Agreement, the eldest brother approached Frank, offered his hand, and apologized. When outcomes like that happen, the adversarial, bottom-line advocate in me becomes ashamed. Time after time I have seen the humanity in the most contentious opponents, once someone blinks.
Commission on Ethics. v. Kathy Augustine, State Controller, 2004, Representing Respondent, Dominic Gentile and John Arrascada. I served as Chairman of the Hearing
In 1998, Kathy Augustine, a little-known Nevada Assemblymember from Las Vegas, ran for statewide office as Controller. She won the election. During her campaign four years later to retain her seat, she required her staff at the Controller’s office to participate in her campaign-related activities. In 2004,
8 Application Deadline: 5:00 p.m., Friday, March 8, 2018 those activities came before the Nevada Commission on Ethics, and I served as chair at the hearings. The rather egregious allegations could submarine her political career. Her attorneys, at the last minute, informed the Commission that they would withdraw their defense, and propose a stipulated settlement of the allegations.
In my role as Chair, I had the discretion to refuse their requests, or require a public hearing to parade the horribles before the public, or, alternatively, to hold the hearing in the least embarrassing manner, allowing the attorneys to present the proposed stipulation in a public meeting, but undertaking the deliberations of the Commission within the requirements of the Open Meeting Law, but in a closed session. In that closed session, after accepting the proposed stipulation, causing Controller Augustine to be referred to the State Senate for Impeachment proceedings, I granted the attorneys request to allow Ms. Augustine to leave the hearing room without needing to walk past reporters and other members of the public.
In this case, I realized that the smallest gesture can make a world of difference. In a judicial role, a smile, a gesture, or a friendly moment of eye contact can help participants feel that they are more than their actions. They’re just people who have made mistakes, or who need guidance.
As a judge, I hope to insert those small moments into every case I hear..
21. Do you now serve or have you previously served as a mediator, an arbitrator, a part-time or full- time judicial officer, or a quasi-judicial officer? To the extent possible, explain each experience.
For the past 2 years, I have served as the Chairperson of the State Bar of Nevada’s Northern Nevada Disciplinary Board, and for many years before becoming chair, I led several evidentiary hearings and panels each year regarding lawyer misconduct. In these roles, I considered argument and ruled on motions and evidentiary objections, applied the law to the facts and wrote findings of fact and conclusions of law. Some of the attorney respondents are represented by counsel, and others represent themselves. I also issued orders assigning attorneys to screening panels and to hear ings, managing all significant matters pursued by Bar Counsel in northern Nevada.
I also served as Vice-chair of the Board for approximately 4 years. During my service to the Disciplinary Board, I have worked with the Bar to eliminate a daunting backlog of cases in a short time and took significant steps to standardize hearing procedures and the imposition of attorney discipline among hearing chairs.
In my estates and trusts work, I mediate a large number of family disputes informally. I have found that circumstances involving death and divorce both regularly trigger unreasonable responses, particularly parties becoming emotional and desiring (or demanding) unequal or unexpected distributions of assets. My ability to help clients recognize that grabs for money and material items are not substitutes for grieving the loss of a significant relationship, whether it was happy or difficult, has brought many gratifying experiences.
In 2003, I was honored to be appointed as a quasi-judicial officer to the Nevada Commission on Ethics by the Nevada Legislature, when Todd Russell, Esq., now a District Court Judge in Carson City, served as Chair. After Judge Russell left leadership of the Commission, Rick Hsu, Esq. became Chair, and I assumed the position of Vice-Chair. Within 18 months of my appointment, I rose to leadership, and was elected Chair of the Commission in 2005. In that role, I led the Commission in numerous hearings, including those involving the Mayor of Las Vegas, Clark County Commission members, Reno and
9 Application Deadline: 5:00 p.m., Friday, March 8, 2018 Sparks City Council members and many others. One of the cases over which I presided was appealed to the Supreme Court of the United States, and was affirmed regarding a matter of first impression about the First Amendment to the U.S. Constitution. In 2008, I became the Executive Director of the Commission and continued to pursue public officers and employees who violated the public trust.
22. Describe any pro bono or public interest work as an attorney.
Pro bono work is not only a part of every attorney's responsibility under SCR 191, but has long been my personal policy. Each attorney at Jenkins Law Office was required to have one active pro bono matter in his or her caseload at all times.
Some of my pro bono cases have involved representing people with disabilities to retain their homes, representing a non-profit organization to obtain a bequest through probate, and advocating on behalf of various low-income women to modify child support orders when their former spouse's earnings had increased dramatically. I also have advocated for the oversight or removal of a few appointed guardians of senior citizens with dementia.
I have participated as a volunteer attorney for Volunteer Attorneys for Rural Nevadans' Legal Aid Fair, served as a "Lawyer in the Library" at the Nevada Supreme Court Law Library, and responded to various calls from judges requesting representation for indigent or low-income parties. I also continue to provide significant no-fee or reduced fee services in family law and have prepared many last-minute estate plans for hospice patients.
I served as local counsel for an impact litigation regarding employment discrimination based on HIV status,and provided research and writing assistance on another matter involving sex discrimination in employment.
I have been an active volunteer advocate for government-provided intervention and services for children with disabilities. I also support funding to provide the statutorily mandated guardianad-litem services for abused and neglected children. For decades I have been a visible volunteer advocate for civil rights and constitutional protections for unmarried cohabitants and their families, and was among the plaintiffs in Nevada’s Marriage Equality litigation, heard by the Ninth Circuit Court of Appeals in San Francisco. Ensuring legal protections against elder abuse is also among my regular areas of service.
23. List all bar associations and professional societies of which you are or have been a member. Give titles and dates of offices held. List chairs or committees in such groups you believe to be of significance. Exclude information regarding your political affiliation.
Association of Regulatory Boards in Optometry, Judicial Council member, Member Board Executives Committee member, Emerging Technology Committee member, 2017 to present. received Founders’ Award, ARBO, 2018 Nevada Bar Foundation/Justice League of Nevada appointed member First Judicial District Bar Association,1996 to present, Secretary, 2008-10. Washoe County Bar Association member Northern Nevada Women Lawyers Association member Probate Bar Association of Washoe County Estate Planning Counsel of Nevada Wealth Counsel Collaborative Professionals of Nevada Author, Nevada Lawyer Magazine 2007, 2012
10 Application Deadline: 5:00 p.m., Friday, March 8, 2018 Nevada Family Law Conference Presenter 2008, 2012 Bar Association of San Francisco Bay Area Lawyers for Individual Freedom, Board omember 1994 - 96; Newsletter Editor 1994 - 95 American Bar Association
24. List all courses, seminars, or institutes you have attended relating to continuing legal education during the past 5 years. Are you in compliance with the continuing legal education requirements applicable to you as a lawyer or judge?
I am now compliant and have maintained compliance with Nevada and California’s continuing education requirements throughout my 23-year legal career. I recall once in the last 10 years when my Nevada CLE reporting inadvertently was late, and my name was forwarded to the Nevada Supreme Court for action; however, I do not recall the year. The reporting error was addressed immediately, and the Court removed my name from that list.
The following are among the continuing legal education topics I have studied: Family Law in Nevada, Guardianship Law, Elder Protection, Administering Special Needs Trusts, Estate Planning A-Z, Administering Trusts and Estates, Northern Nevada Disciplinary Board training, New York Life’s Probate, Estate Planning & Taxation seminar, Substance Abuse and Addiction, Stress and the Sole Practitioner, Lawyer Trust Accounting, Collaborative Divorce, Advanced Real Estate, Common Interest Communities, Elimination of Bias, Legal Ethics, What Not To Do At Trial, How to Take a Killer Deposition, Legal Writing Workshop, as well as various Nevada State and Washoe County Bar Association, First Judicial District Bar Association, and other bar association meetings, online offerings and lunch events offering CLE. I have also attended 3 of the State Bar’s Family Law Conferences
25. Do you have Professional Liability Insurance or do you work for a governmental agency? I carry Professional Liability Insurance and I work for a governmental agency.
Business and Occupational Experience
26. Have you ever been engaged in any occupation, business, or profession other than a judicial officer or the practice of law? If yes, please list, including the dates of your involvement with the occupation, business, or profession.
Executive Director, Nevada State Board of Optometry, 2016 to present Executive Director, Nevada Commission on Ethics, 2008-14 Senior Research Analyst and Committee Staff, Legislative Counsel Bureau, 1989-1993 Executive Director, Brewery Arts Center, 1984-89
27. Do you currently serve or have you in the past served as a manager, officer, or director of any business enterprise, including a law practice? If so, please provide details as to: a. the nature of the business, b. the nature of your duties, c. the extent of your involvement in the administration or management of the business, d. the terms of your service, e. the percentage of your ownership.
Nevada Legacy Law, general estate planning and litigation practice, owner and manager, 100% ownership of solo practice 11 Application Deadline: 5:00 p.m., Friday, March 8, 2018
Jenkins Law Office, general family and civil litigation practice, owner and administrator, shared management duties with partner, 70-100% ownership at various times
MTC3 Enterprises, real estate landlord to the building leased by Jenkins Law Office and others, owner and manager, 50% interest
28. List experience as an executor, trustee, or in any other fiduciary capacity. Give name, address, position title, nature of your duties, terms of service and, if any, the percentage of your ownership.
Fiduciary to the Sarah F. Cole Special Needs Trust, 14729 Carnegie Road, Magalia, CA 95954. I administer banking, bill payment, needs assessment, Social Security and disability reporting and accounting on behalf of the California Trustee of a mentally ill beneficiary in Carson City. No ownership interest.
Civic, Professional and Community Involvement
29. Have you ever held an elective or appointive public office in this or any other state? Have you been a candidate for such an office? If so, give details, including the offices involved, whether initially appointed or elected, and the length of service. Exclude political affiliation.
Appointed to the Nevada Commission on Ethics by the Nevada Legislature, 2003. Resigned to pursue election, later appointed as Executive Director . The Carson City Board of Supervisors appointed me to serve on the Library Board of Trustees in 2006, on which I served for 3 years until 2009 when I began working for the Ethics Commission. The Commission had jurisdiction of all appointed public officers, so I was required to resign the post due to the conflict of interest.
I ran for the First Judicial District Court in 2008 and the Second Judicial District Court, Family Division in 2014. I did not prevail in either election, though I am proud of the votes cast for me in both campaigns. I have applied to the Commission on Judicial Selection for vacancies on the bench in Carson City, Washoe and Clark Counties numerous times. In 2003, my name and application were forwarded to the Governor for consideration; however, I was not selected.
30. State significant activities in which you have taken part, giving dates and offices or leadership positions.
Lake Tahoe School parent volunteer, 2012 to present. State Bar of NV, Northern Nevada Disciplinary Bd, Chair, 2017 to present,Vice Chair 2014-15, Member 2011 to present. Transitioning Into Practice (TIP) Mentor to new attys, Supreme Ct. Appointed, 2011. Nevada Academy of Sign Language, Board Member 2011-14. Deaf and Hard of Hearing Advocacy Resource Center, Board Member, 2011-14. Washoe County Bar Association, Mock Trial judge, 2013. Nevada Law Foundation/Justice League of Nevada, Supreme Court Appointee, 2012-14. Austin's House Emergency Foster Shelter, Board member, Vice-Chair, 2011-14. Carson City Court Appointed Special Advocates, President, Board member, 2009-12. 12 Application Deadline: 5:00 p.m., Friday, March 8, 2018 Carson City Library Bd. of Trustees, apptd by County Bd of Supv., Member, Vice Chair, 2006-09. Nevada Comm. on Ethics, Legislative appointee, 2003-08, Vice Chair 2004-05, Chair 2005-07. No1ihern Nevada High School Speech and Debate finals judge, 2005-06, 2009-13, 2017 to present. Collaborative Professionals of Nevada, Founding Member and supporter, 2005-07. First Judicial District Bar Association, Member, 2004 to present, Secretary, 2008-10. Three Degrees, Northern Nevada LGBT Business Network, Founder, 2004 to 2011. Washoe County School District Task Force on Diversity, member 2004-05. Golden Gate University School of Law Alumni Association, Board member, 2001-02. Golden Gate University Law Review, Alumni Advisor, Ninth Circuit Survey, 1999-00. Bay Area Lawyers for Individual Freedom (BALIF), Board member, 1994-95, 1998-01. California AIDS Ride Participant, 1999, 2001. Carson City Chamber of Commerce, Board of Directors, 1985-88. "Woman of the Year" finalist, Carson City Chamber of Commerce, 1984-85.
31. Describe any courses taught at law schools or continuing education programs. Describe any lectures delivered at bar association conferences.
Adjunct Professor, UNR, Families and Public Policy, taught 300-level course for 4 semesters to Human and Community Development undergraduate and graduate students.
Adjunct Professor of Law, Golden Gate University School of Law - Honors Remedies Seminar for 3 years, and First-Year Legal Writing and Research for 2 years.
I am an avid public speaker. A representative list of my teaching and speaking presentations follows:
State Bar of Nevada Annual Meeting, Administrative Practice before the Commission on Ethics, CLE 2014; Holding the Trier of Fact Accountable, Administrative Law Section, State Bar of Nevada, Ethics CLE, 2011.
The Ethics of Excellence, half-day interactive seminar developed with the Nevada Department of Employment, Training and Rehabilitation, and presented to over 4,000 state employees in 20- person groups, 2012-14.
Ethics in Government? Not an Oxymoron, two-hour training/CLE, 2009-14 (over 90 Nevada presentations); National Attorneys General Training and Research Institute (NAGTRI), Las Vegas NV 2012, Austin TX 2013, National Business Institute (NB!) 2013,
State Bar of Nevada, Family Law Conference 2008, Domestic Partnership Panel; Judicial Education Track, 2010, The Reality of Same Sex Unions in Nevada Courts (both presentations made on behalf of The Williams Institute, University of California Los Angeles); Nevada Association of Social Workers, Annual Meeting presenter Domestic Partnership and Nevada Families, 2009; Legal Issues faced by Nevada's Unmarried Cohabitants, 6-hour public sessions, 2004, 2007, 2010.
Northern Nevada Interfaith Coalition, The Establishment Clanse, the Ten Commandments and the Pledge of Allegiance, 2005, 2006.
Volunteer Attorneys for Rural Nevadans, Volunteer attorney, 2010; Nevada Legal Services - divorce, family law, estates & trusts, real property, contracts; Legal Clinic volunteer/Lawyer in the Library, 2010-14
13 Application Deadline: 5:00 p.m., Friday, March 8, 2018 CASA of Carson City Volunteer Recognition Dinner, Emcee 2009, 2010; Lake Tahoe School, Trail of Treats and Terror, Emcee, 2014.
32. List educational, military service, service to your country, charitable, fraternal and church activities you deem significant. Indicate leadership positions.
Already outlined elsewhere in this Application
33. List honors, prizes, awards, or other forms of recognition.
Received "Medal of Justice" from the State Bar of Nevada 2014 for my work with the Nevada Law Foundation/Justice League of Nevada.
Appointed Vice Chair of the Northern Nevada Disciplinary Board 2014 by the State Bar of Nevada.
Engaged in a campaign for judicial office against an incumbent judge in Washoe County in 2014 and prevailed in the Primary election. Despite failing to win in the General election, I received 43,811 votes.
Editor, Golden Gate University Law Review, Ninth Circuit Survey, 1996
Paul S. Jordan Award for Outstanding Contribution to the Law School, 1996
Justice Rose E. Bird Award for Professionalism and Integrity, 1996
Many other honors are outlined elsewhere in this application.
34. Have you at any time in the last 12 months belonged to, or do you currently belong to, any club or organization that in practice or policy restricts (or restricted during the time of your membership) its membership on the basis of race, religion, creed, national origin or sex? If so, detail the name and nature of the club(s) or organization(s), relevant policies and practices, and whether you intend to continue as a member if you are selected for this vacancy. No.
35. List books, articles, speeches and public statements published, or examples of opinions rendered, with citations and dates.
Authored: Legislators Votes Not Protected Speech: Nevada Gains SCOTUS Clarification of Ethics Statutes and the First Amendment, Nevada Lawyer Magazine, February 2012.
Representing Pnblic Officers and Employees Before Nevada's Commission on Ethics, authored with Adriana G. Fralick, Esq., Nevada Lawyer Magazine, September 2007.
Administrative Exhaustion or Private Rights of Action: Priorities in Educating Children with Disabilities, Ninth Circuit Survey, Golden Gate University Law Review, 1995.
Drug Testing in the Workplace, Nevada Legislative Background Paper, January 1991.
Corrections in Crisis: Nevada's Actions Toward a Solution, authored with Nevada Lieutenant Governor Sue Wagner, Nevada Public Affairs Review, 1991.
14 Application Deadline: 5:00 p.m., Friday, March 8, 2018
City Hall Gives Boost to Flourishing Arts Network. Western City Magazine, League of CA Cities, 1985.
Compiled and published for the Nevada Legislative Counsel Bureau: Summary of Legislation, Nevada's 1991 and 1993 Biennial Legislative Sessions.
Summary Bulletin of Reports to the 66th Session of the Nevada Legislature, 1991.
Researched and provided background and data to the author: Toward a Consolidated Approach to Legally Related Domestic Problems: Nevada Creates a Family Court, authored by Nevada Senate Minority Leader Dina Titus, Nevada Public Affairs Review, 1990.
36. During the past ten years, have you been registered to vote? Have you voted in the general elections held in those years?
Yes, and yes.
37. List avocational interests and hobbies.
My children, wearing fun socks, gardening, falconry, volunteerism, cooking. Conduct
38. Have you ever been convicted of or formally found to be in violation of federal, state or local law, ordinance or regulation? Provide details of circumstances, charges, and dispositions. No.
39. Have you ever been sanctioned, disciplined, reprimanded, found to have breached an ethics rule or to have acted unprofessionally by any judicial or bar association discipline commission, other professional organization or administrative body or military tribunal? If yes, explain. If the disciplinary action is confidential, please respond to question 71. No.
40. Have you ever been dropped, suspended, disqualified, expelled, dismissed from, or placed on probation at any college, university, professional school or law school for any reason including scholastic, criminal, or moral? If yes, explain. No.
41. Have you ever been refused admission to or been released from any of the armed services for reasons other than honorable discharge? If yes, explain. No.
42. Has a lien ever been asserted against you or any property of yours that was not discharged within 30 days? If yes, explain.
No.
43. Has any Bankruptcy Court in a case where you are or were the debtor, entered an order providing a creditor automatic relief from the bankruptcy stay (providing in rem relief) in 15 Application Deadline: 5:00 p.m., Friday, March 8, 2018 any present or future bankruptcy case, related to property in which you have an interest?
No.
Other
44. If you have previously submitted a questionnaire or Application to this or any other judicial nominating commission, please provide the name of the commission, the approximate date(s) of submission, and the result.
I have applied to this Commission several times between 2006 and the present for vacancies in the First, Second, Eighth and Ninth Judicial District Courts. I was among the top three candidates considered for appointment in the First Judicial District in 2006, and have been heartily encouraged by many peers and judges to continue submitting applications for appointment, and running for judicial office.
45. In no more than three pages (double spaced) attached to this Application, provide a statement describing what you believe sets you apart from your peers, and explains what particular education, experience, personality or character traits you possess or have acquired that you feel qualify you as a good district court judge. In so doing, address both the civil (including family law matters) and criminal processes (including criminal sentencing.)
46. Detail any further information relative to your judicial candidacy that you desire to call to the attention of the members of the Commission on Judicial Selection.
I have run for judicial office twice before. I was greatly encouraged by my performance in the 2014 election and am a proven fundraiser and campaigner. I am confident in my ability to raise funds and successfully manage a retention election in Washoe County in 2020, if I am appointed to this vacancy.
47. Attach a sample of no more than 10 pages of your original writing in the form of a decision, “points and authorities,” or appellate brief generated within the past 5 years, which demonstrates your ability to write in a logical, cohesive, concise, organized, and persuasive fashion.
- - INSERT PAGE BREAK HERE TO START SECTION II (CONFIDENTIAL INFORMATION) ON NEW PAGE
16 Application Deadline: 5:00 p.m., Friday, March 8, 2018 Attachment A Employment History
Please start with your current employment or most recent employment, self-employment, and periods of unemployment for the last 20 years preceding the filing of this Application.
Current or Last Employer: Nevada State Board of Optometry, 7/17 to present
Phone Number: 775-883-8367
Address: P.O. Box 1824, Carson Ciyt NV 89702
From 07/17 to present
Supervisor’s name: Chen Young, O.D.
Supervisor’s Title: President Nevada State Board of Optometry
Your Title: Executive Director
Specific Duties: Administer operations of a statewide body appointed by the Governor. Manage licensure and renewal of optometrists throughout the state.Review public complaints for jurisdiction and substance, direct confidential investigations, analyze facts and prepared written Citations, recommendations and decisions. Facilitate public consideration and application of Optometry Laws via oral, written, inperson and digital communications. Serve as sole media, publications, outreach and education contact. Manage all aspects of a State agency including budget, policy, regulatory and statutory revision, contracts, facilities and personnel.
Previous Employer Nevada Commission on Ethics, 9/09 - 10/14
Phone Number: 775-687-5469
Address: 704 W. Nye Lane #204, Carson City NV 89703
From: 9/09 to 10/14
Supervisor's Name: Paul Lamboley, Erik Beyer, John T. (J.T.) Moran III
Supervisor's Job Title: Chairman, NV Commission on Ethics
Your Title: Executive Director
Specific Duties: Administered operations of a statewide body appointed by the Governor and the Legislative Commission. Reviewed public complaints for jurisdiction and substance, directed confidential investigations, analyzed facts and prepared written recommendations and decisions. Facilitated public consideration and application of Ethics in Government Laws via oral, written, inperson and digital communications. Served as sole media, publications, outreach and education contact. Managed all aspects of a State agency including budget, policy, regulatory and statutory revision, contracts, facilities and personnel.
20 Application Deadline: 5:00 p.m., Friday, March 8, 2018 Between 2008 and 2014, during my employment with the Nevada Commission on Ethics, I was prohibited from engaging in any office of profit or accepting compensation for outside work. As a result, I maintained my skills by involving myself in various pro bono and volunteer activities, including mentoring new lawyers through the Transitioning into Practice (TIP) program and actively participating in adjudicating cases on the Northern Nevada Attorney Discipline Board.
Reason for Leaving: Engaged in a very adversarial campaign for judicial office.
Previous Employer: Law Office of Caren Jenkins/Nevada Legacy Law, 1/09 to present; Jenkins Law Office, P.C., 4/02 to 1 /09.
Phone Number: 775-720-1181
Address: 18124 Wedge Parkway #158, Reno NV 89511
From: 1/09 to present
Supervisor's Name: Caren Jenkins
Supervisor's Job Title: self
Your Title: Attorney, shareholder and founder
Specific Duties: 1/09 to present: Occasional private law practice focusing on business law/litigation and litigation-avoidance, dispute resolution. estates and trusts. Provided pro bono services to low-income individuals and non-profit organizations.
4/02-1/09: Administered law firm and practiced in northern Nevada full-time, providing advice. dispute resolution and litigation representation in family law, estates and trusts, real estate and business. In addition to client representation, responsible for business development, practice management, human resources and financial administration. Between 2008 and 2014, during my employment at Nevada Commission on Ethics, I was prohibited from engaging in any office of profit or accepting compensation for outside work. As a result, I maintained my skills by involving myself in various pro bono and volunteer activities, including mentoring new lawyers through the Transitioning into Practice (TIP) program and actively participating in adjudicating cases on the Northern Nevada Attorney Discipline Board. Previous Employer: Golden Gate University School of Law, 5/02 to 8/05 Phone Number: 415-442-6630 Address: 536 Mission Street, San Francisco, CA 94015 From: 5/02 to 8/05 Supervisor's Name: Mort Cohen (Remedies), Michael Zamperini (Legal Writing & Research) Supervisor's Job Title: Law Professor (tenured) Your Title: Adjunct Professor
21 Application Deadline: 5:00 p.m., Friday, March 8, 2018 Specific Duties: Developed and taught third-year honors level Remedies seminar, summers 2002 - 05; instructed numerous sections of first-year Legal Writing & Research classes, 2002-04. Reason for Leaving: Living in Nevada, the commute to San Francisco became troublesome in light of my very young children. I loved teaching. and was loathe to give it up.
Previous Employer: : Squire Sanders & Dempsey, LLP (formerly Graham & James LLP, now Squire Patton Boggs) (San Francisco and Palo Alto), 8/98 to 4/03 Phone Number: 415-954-0200 Address: 275 Battery Street, Suite 2600, San Francisco, CA 94111 From: 8/98 to 4/03 Supervisor's Name: Diane Gibson Supervisor's Job Title: Litigation Practice Group Chair Your Title: Litigation Associate Specific Duties: Juggled fast-paced heavy commercial litigation caseload within 750+ attorney firm. Practice emphasized contract, real estate and intellectual property litigation and litigation- avoidance with domestic and international clients in state and federal trial and appellate courts as well as in mediation and arbitration. Reason for Leaving: Moved back to Nevada post 9-11 to grow our family.
Previous Employer: Thorndal, Armstrong, et al. (Las Vegas), Phone Number: 702-366-0622 Address: 1100 E. Bridger Avenue, Las Vegas, NV 89101 From: I 0/97 to 8/98 Supervisor's Name: John Thorndal Supervisor's Job Title: Partner Your Title: Litigation Associate Specific Duties: Conducted insurance defense practice of tort & product liability claims. Reason for Leaving: Opportunity to leave insurance defense and pursue a more varied and challenging opportunity.
Previous Employer: Nevada Supreme Court, Justice Charles E. Springer Phone Number: 775-684-1600 Address: 201 South Carson Street, Carson City, NV 89701 22 Application Deadline: 5:00 p.m., Friday, March 8, 2018 From: 8/96 to 9/97 Supervisor's Name: Justice Charles Springer Supervisor's Job Title: Supreme Court of Nevada, Associate Justice Your Title: Judicial Law Clerk
Specific Duties: Prepared conference memoranda to the five justices of Nevada's highest court; drafted opinions and orders; advised the judge in preparation of opinions on civil, criminal and administrative appeals, original habeas petitions and other extraordinary relief. Reason for Leaving: One year position.
23 Application Deadline: 5:00 p.m., Friday, March 8, 2018 Attachment regarding Item 45 Case Nos. NG-11-1103 and NG-11-1378 STATE BAR OF NEV ADA NORTHERN NEVADA DISCIPLINARY BOARD
STA TE BAR OF NEV ADA, ) Complainant, ) vs. ) William Breck, Esq. and The Public Interest ) Law Firm, Inc. ) FINDINGS OF FACT, CONCLUSIONS OF LAW, DECISION AND ORDER Respondents. )
THIS MATTER came before a designated Formal Hearing Panel of the Northern Nevada
Disciplinary Board ("the Panel") for hearing on August 28, 2012 and continued on September
17, 2012. The Panel consisted of Chairman Caren Cafferata-Jenkins, Esq .. lay member Deveron
Feher, and attorneys Kathleen Breckenridge, Esq .. Gregory Livingston. Esq. and Keegan Low,
Esq. The State Bar of Nevada ("the State Bar") was represented by Assistant Bar Counsel
Patrick 0. King, Esq. Respondent The Public Interest Law Fi1m, Inc. did not appear at the hearing, and Respondent William Breck appeared in propria persona at these proceedings.
Based upon the pleadings on file herein and the evidence adduced at the hearing on these matters, the Panel hereby issues the following Findings of Fact, Conclusions of Law, and Order: FINDINGS OF FACT
William Breck is an attorney who has been licensed to practice law in Alaska, but not in
Nevada. At all relevant times, Mr. Breck engaged in business as "William Breck & Associates" in Nevada, and served as the founder, President and Chief Executive of The Public Interest Law
Firm, Inc. ("TPI") in its efforts to engage clients and and to provide legal services in the State.
TPI was an organization that advertised a "Save My Home" program in Nevada, purporting to help distressed homeowners stay in their homes.
Breck intended to register TPI as a Multi-Jurisdiction Law Firm with the State Bar of
Nevada, but required a lawyer licensed to practice law in Nevada to serve as its resident attorney. The Panel heard testimony from nwnerous Nevada attorneys who had been engaged as independent contractors of The Public Interest Law Firm ("TPI") serially, and whose licensure was utilized to legitimize the Multi-Jurisdictional Law Firm registration and allowed TPI to represent its clients in Nevada comis. TPI was run primarily by non-lawyers and non-Nevada lawyers, but tmdertook a pattern of hiring young and/or inexperienced lawyers who were glad to have found employment and who, when they became more aware of Respondents' practices and breaches of Nevada's Rules of Professional Conduct, left that employment within a few months of being hired. In several instances these attorneys were permitted no access to or infonnation about TPI's management practices, trust account oversight, or even client files which a resident attorney would typically be responsible to ensure met the requirements of Nevada Jaw.
Testimony was also provided by several former clients of TPI that the client intake process was handled by non-attorneys, that limited English speakers had signed documents in
English after having a Spanish-speaking TPI non-attorney offer information about expected legal approaches, expected outcomes and retainer requirements, as well as offer legal advice about whether the TPI services were appropriate forthe potential client's circumstances.
The clients testified consistently they had provided significant up-front sums and had agreed to pay a monthly fee for an indeterminate time, regardless of the work being performed on their individual case. Supposedly, the monthly payment was to be pooled to fund a multi joinder lawsuit against mortgage lenders, but no such litigation was ever filed on their behalf, and the sums paid were not placed into trust, or earned for work performed on the individual client's case, but rather were withdrawn forthe benefit of TPI and its officers.
I. Respondent Breck is an attorney licensed to practice Jaw in the State of Alaska.
Breck has never held a Nevada law license.
2. Respondent The Public Interest Law Firm, Inc. is registered with the Nevada
Secretary of State as a Nevada non-profit corporation, and filed its initial papers in January 2011.
Its most recently filed document, a March 2012 Annual List of Officers and Directors, lists William Breck as TPI's President, Secretary, Treasurer, and sole Director, with a physical
address of 1285 BaringBlvd., #205 inSparks, NV 89434.
(Additional content removed as it is not relevant to this writing sample.)
CONCLUSIONS OF LAW Based on the foregoing Findings of Fact, the Panel issues the following Conclusions of
Law:
(a) The Panel was designated by the Northern Nevada Disciplinary Board Chair to adjudicate this case and has jurisdiction over the Respondent and the subject mater of these
proceedings. See SCR 99(1). Although Mr. Breck is not a Nevada-licensed attorney, any attorney practicing law in Nevada or whose advertising for services regularly appears in Nevada
is subject to the exclusive disciplinary jurisdiction of the Nevada Supreme Court and the disciplinary boards and hearing panels created by those rules.
(b) Venue in this matter is properly with the Northern Nevada Disciplinary Board in the County of Washoe, State of Nevada. SCR 105.
(c) Respondent Breck and Respondent The Public Interest Law Firm, Inc. are foundto have violated the following Rules of Professional Conduct ("RPC"):
Rule I. I. Competence. A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation.
Rule 1.2. Scope of Representation and Allocation of Authority Between Client and Lawyer.
Rule 1.3. Diligence, A lawyer shall act with reasonable diligence and promptness in representing a client.
Rule 1.4. Communication. (a) A lawyer shall: ( 1) Promptly inform the client of any decision or circumstance with respect to which the client's informed consent is required by these Rules; (2) Reasonably consult with the client about the means by which the client's objectives are to be accomplished; (3) Keep the client reasonably informedabout the status of the matter; (4) Promptly comply with reasonable requests for information; and (5) Consult with the client about any relevant limitation on the lawyer's conduct when the lawyer knows that the client expects assistance not permitted by the Rules of Professional Conduct or other law. (b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation.
Rule 1.5. Fees. (a) A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an unreasonable amount forexpenses.
Rule I. 15. Safekeeping Property. (a) A lawyer shall hold funds or other property of clients or third persons that is in a lawyer's possession in connection with a representation separate from the lawyer's own property. All fundsreceived or held for the benefit of clients by a lawyer or firm, including advances for costs and expenses, shall be deposited in one or more identifiable bank accounts designated as a trust account maintained in the state where the lawyer's officeis situated, or elsewhere with the consent of the client or third person. Other property in which clients or third persons hold an interest shall be identifiedas such and appropriately safeguarded. Complete recordsof such account funds and other property shall be kept by the lawyer and shall be preserved for a period of seven years after termination of the representation. (b) A lawyer may deposit the lawyer's own funds in a client trust account for the sole purpose of paying bank service charges on that account, but only in an amount necessary for that purpose. (c) A lawyer shall deposit into a client trust account legal fees and expenses that have been paid in advance. to be withdrawn by the lawyer only as fees are earnedor expenses incurred.
Rule I.I 8. Duties to Prospective Client. (a) A person who discusses with a lawyer the possibility of forminga client-lawyer relationship with respect to a matter is a prospective client.
Rule 2.1. Advisor. In representing a client, a lawyer shall exercise independent professional judgment and render candid advice. In rendering advice, a Jm,vyer may refer not only to law but to other considerations such as moral, economic, social and political factors, that may be relevant to the client's situation.
Rule 3.3. Candor Toward the Tribunal. (a) A lawyer shall not knowingly: (I) Make a false statement of factor law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer;
Rule 4.l. Truthfulness in Statements to Others. In the course of representing a client a lawyer shall not knowingly: (a) Make a false statement of material fact or law to a third person; or (b) Fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulentact by a client, unless disclosure is prohibited by Rule 1.6.
RuJe 5.1. Responsibilities of Partners, Managers, and Supervisory Lawyers. (a) A partner in a law firm, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm, shall make reasonable effm1s to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conformto the Rules of Professional Conduct. (b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct. (c) A lawyer shall be responsible for another lawyer's violation of the Rules of Professional Conduct if: (I) The lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or (2) The lawyer is a partner or has comparable managerial authority in the law firm in which the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.
Rule 5.3. Responsibilities Regarding Nonlawyer Assistants. With respect to a nonlawyer employed or retained by or associated with a lawyer: (a) A partner, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firmhas in effect measures giving reasonable assurance that the person's conduct is compatible with the professionalobligations of the lawyer; (b) A lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the person's conduct is compatible with the professional obligations of the la\vyer; and (c) A lawyer shall be responsible for conduct of such a person that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer if: (I) The lawyer orders or, with the knowledge of the specificconduct, ratifies the conduct involved; or (2) The lawyer is a partner or has comparable managerial authority in the law firm in which the person is employed, or has direct supervisory authority over the person, and knows of the conduct at a time when its consequences can be avoided or mitigated but failsto take reasonable remedial action.
Rule 5.5. Unauthorized Practice of Law. (a) General rule. A lawyer shall not: (I) Practice law in a jurisdiction where doing so violates the regulation of the legal profession in that jurisdiction; or (2) Assist another person in the unauthorized practice of law. (b) Exceptions. A lawyer who is not admitted in this jurisdiction, but who is admitted and in good standing in another jurisdiction of the United States, does not engage in the unauthorized practice of law in this jurisdiction when: (1) The lawyer is authorized to appear before a tribunal in this jurisdiction by law or order of the tribunal or is preparing fora proceeding in which the lawyer reasonably expects to be so authorized; (2) The lawyer pmticipates in this jurisdiction in investigation and discovery incident to litigation that is pending or anticipated to be instituted in a jurisdiction in which the lawyer is admitted to practice; (3) The lawyer is an employee of a client and is acting on behalf of the client or, in connection with the client's matters, on behalf of the client's other employees, or its commonly owned organizational affiliates in matters related to the business of the employer, provided that the lawyer is acting in this jurisdiction on an occasional basis and not as a regular or repetitive course of business in this jurisdiction; (4) The lawyer is acting with respect to a matter that is incident to work being performed in a jurisdiction in which the lawyer is admitted, provided that the lawyer is acting in this jurisdiction on an occasional basis and not as a regular or repetitive course of business in this jurisdiction; (5) The lawyer is engaged in the occasional representation of a client in association with a lawyer who is admitted in this jurisdiction and who has actual responsibility for the representation and actively participates in the representation, provided that the out-of-state lawyer's representation of the client is not part ofa regular or repetitive course ofpractice in this jurisdiction; (6) The lawyer is representing a client, on an occasional basis and not as part of a regular or repetitive course of practice in this jurisdiction, in areas governed primarily by federal law, international law, or the law of a foreign nation; or (7) The lawyer is acting as an arbitrator, mediator, or impa11ial third party in an alternative dispute resolution proceeding. (c) Interaction with Supreme Court Rule 42, Notwithstanding the provisions of paragraph (b) of this Rule, a lawyer who is not admitted to practice in this jurisdiction shall not represent a client in this state in an action or proceeding governed by Supreme Court Rule 42 unless the lawyer has been authorized to appear under Supreme Cou,1 Rule 42 or reasonably expects to be so authorized. ( d) Limitations, (1) No lawyer is authorized to provide legal services under this Rule if the lawyer: (i) ls an inactive or suspended member of the State Bar of Nevada, or has been disbarred or has received a disciplinary resignation from the State Bar ofNevada; or (ii) Has previously been disciplined or held in contempt by reason of misconduct committed while engaged in the practice oflaw pennitted under this Rule. (2) A lawyer who is not admitted to practice in this jurisdiction shall not: (i) Establish an officeor other regular presence in this jurisdiction for the practice of law; (ii) Solicit clients in this jurisdiction; or (iii) Represent or hold out to the public that the lawyer is admitted to practice law in this jurisdiction. (e) Conduct and discipline. A lawyer admitted to practice in another jurisdiction of the United States who acts in this jurisdiction pursuant to paragraph (b) of this Rule shall be subject to the Nevada Rules of Professional Conduct and the disciplinary jurisdiction of the Supreme Court of Nevada and the State Bar of Nevada as provided in .$J,112rcrne Court RuJ.£. . .2.2.
Rule 5,SA, Registration of Private Lawyers Not Admitted to Nevada in Extra-Judicial Matters, (a) Application of rule. (I) This Rule applies to a lawyer who is not admitted in this jurisdiction, but who is admitted and in good standing in another jurisdiction of the United States, and who provides legal services for a Nevada client in connection with transactional or extra-judicial matters that are pending in or substantially related to Nevada. (2) This Rule does not apply to work performed by a lawyer in connection with any action pending before a court of this state, any action pending before an administrative agency or governmental body, or any arbitration, mediation, alternative dispute resolution proceeding, whether authorized by the court, law, rule, or private agreement. (b) Definitions. For purposes of this Rule, a "Nevada client" is a natural person residing in the State of Nevada, a Nevada governmental entity, or a business entity doing business in Nevada. (c) Annual report, Notwithstanding any other provision of law, a lawyer who is subject to this Rule shall file an annual rep011, along with a reporting fee of$ I 50, with the State Bar of Nevada at its Las Vegas, Nevada, office. The annual report shall encompass January l through December 31 of a single calendar year and shall be filed on or before January 31 of the followingcalendar year. The report shall be on a form approved by the State Bar of Nevada and include the followinginformation: (I) The lawyers' residence and office address; (2) The courts before which the lawyer has been admitted to practice and the dates of admission; (3) That the lawyer is currently a member in good standing of, and eligible to practice law before. the bar of those courts;
34 (4) That the lawyer is not currently on suspension or disbarred from the practice of law before the bar of any court; and (5) The nature of the client(s) (individual or business entity) for whom the lawyer has provided services that are subject to this Rule and the number and general nature of the transactions performed for each client during the previous 12-month period. The lawyer shall not disclose the identity of any clients or any information that is confidentialor subject to attorney-client privilege. (d) Failure to file report. Failure to timely file the report described in paragraph (c) of this Rule may be grounds for discipline under applicable Supreme Court Rules and prosecution under applicable state laws. The failureto file a timely report shall result in the imposition of a fine of not more than $500. (e) Discipline. A lawyer who must file an annual report under this Rule shall be subject to the jurisdiction of the courts and disciplinary boards of this state with respect to the law of this state governing the conduct of lawyers to the same extent as a member of the State Bar of Nevada. He or she shall familiarize himself or herself and comply with the standards of professional conduct required of members of the State Bar of Nevada and shall be subject to the disciplinary jurisdiction of the State Bar of Nevada. The Nevada Supreme Court Rules shall govern in any investigation or proceeding conducted by the State Bar of Nevada under this Rule. (f) Confidentiality. The State Bar of Nevada shall not disclose annual reports filed under this Rule to any third parties unless necessary for disciplinary investigation or criminal prosecution for the unauthorized practice of law.
Rule 7.1. Communications Concerning a Lawyer's Services. A lawyer shall not make a false or misleading communication about the lawyer or the lawyer's services. A communication is falseor misleading if it: (a) Contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading: (b) Is likely to create an unjustified or unreasonable expectation about results the lawyer can or has achieved, which shall be considered inherently misleading for the purposes of this Rule, or states or implies that the lm,'Yer can achieve results by means that violate the Rules of Professional Conduct or other law; (c) Compares the lawyer's services with other lawyers· services, unless the comparison can be factually substantiated: or (d) Contains a testimonial or endorsement which violates any portion of this Rule. Rule 7.2. Advertising. (a) Subject to the requirements of Rule 7.1. a lawyer may advertise services through the public media, such as a telephone directory, legal directory, newspaper or other periodical, billboards and other signs, radio, television and recorded messages the public may access by dialing a telephone number, or through written or electronic communication not involving solicitation as prohibited by Rule 7.3. These Rules shall not apply to any advertisement broadcast or disseminated in another jurisdiction in which the advertising lawyer is admitted if such advertisement complies with the rules governing lawyer advertising in that jurisdiction and the advertisement is not intended primarily for broadcast or dissemination within the State of Nevada. (b) Advertisements on the electronic media such as the Internet, television and radio may contain the same factual information and illustrations as permitted in advertisements in the print media. If a person appears as a lawyer in an advertisement for legal services, or under such circumstances as may give the impression that the person is a lawyer, such person must be a member of the State Bar of Nevada, admitted to practice and in good standing before the Supreme Court of Nevada, and must be the lawyer who will actually perform the service adve1tised or a lawyer associated with the law firmthat is adve1tising. If a person appears in an advertisement as an employee ofa lawyer or law firm, such person must be an actual employee of the lawyer or law firm whose services are advertised unless the advertisement discloses that such person is an actor. If an actor appears in any other role not prohibited by these Rules, the adve11isement must disclose that such person is an actor. (c) All advertisements and written communications disseminated pursuant to these Rules shall include the name of at least one lawyer or law firm responsible for their content. (d) Every advertisement and written communication that indicates one or more areas of law in which the lawyer or law firm practices shall conformto the requirements of Rule 7.4. (e) Every advertisement and written communication indicating that the charging of a fee is contingent on outcome or that the fee will be a percentage of the recovery shall contain the following disclaimer: "You may have to pay the opposing party's attorney fees and costs in the event of a loss." (f) A lawyer who advertises a specific fee or range of fees shall include all possible terms and fees. and the duration said fees are in effect. Such disclosures shall be presented with equal prominence. For advertisements in the yellow pages of telephone directories or other media not published more frequently than annually, the advertised fee or range of fees shall be honored for no less than one year followingpublication. (g) A lawyer may make statements describing or characterizing the quality of the lawyer's services in advertisements and written communications. However, such statements are subject to proof of verification, to be provided at the request of the state bar or a client or prospective client.
Rule 7.5A. Registration of Multijurisdictional Law Firms. (a) Applicability of rule. All law firms having an office in Nevada and in one or more other jurisdictions shall register with the State Bar of Nevada and shall pay an annual fee of$500 for such registration. (b) Definitions. For purposes of this Rule: (I) "Law firm" means a solo practitioner or a group of lawyers. (2) "Nevada client" means a natural person residing in the State of Nevada, a Nevada governmental entity, or a business entity doing business in Nevada. (3) "Resident member" means a Nevada-licensed lawyer who maintains a full-time presence in the Nevada officeof the multijurisdictional firm. (c) Procedure and requirements for registering. An application for registration to practice under this Rule, along with the appropriate fee, shall be filed with the executive director of the State Bar of Nevada, on a form supplied or approved by the State Bar ofNevada, at its Las Vegas, Nevada, office. The application shall include the following: (I) The names and addresses of all lawyersemployed by the firm, the jurisdictions in which each lawyer is licensed, and verification that each lawyer is in good standing in the jurisdictions in which each lawyer is licensed; (2) Any pending disciplinary action or investigation against a lawyer employed by the firm; (3) The address and telephone number of a permanent office located within the State of Nevada that will be maintained by the firm; (4) The name, address, and telephone number ofa member of the firm who shall be resident in the firm's Nevada office and who shall be the designated agent for service of process in this state. The resident member of the firm in the Nevada office must be an active member in good standing of the State Bar of Nevada; and (5) A certification that: (i) The firm will maintain a pe1manent office in Nevada with a resident member of the firm who is also an active member in good standing of the State Bar of Nevada at all times the firm is practicing in Nevada and will notify the state bar of any change of status or address within 30 days of the change in status or address; (ii) The firm agrees to disclose in writing to its Nevada clients whether all of its lawyers are licensed to practice in Nevada and, if any of its lawyers are not so-licensed, to disclose what legal work will be performed by lawyers not admitted to practice in this state. Upon request of the State Bar of Nevada, the firm shall provide documentation evidencing its compliance with these disclosure requirements; (iii) The firm agrees to maintain trust accounts in accordance with Supreme Cow1 Rule 78.5, with all funds arising from any matter in Nevada maintained solely in those accounts. The firm shall identify the financial institution where the trust account has been established; and (iv) The firmagrees to comply fully with Rule 7.5. (d) Disposition of application for registration. The executive director of the state bar shall have 30 days from receipt of the application to review the application and determine whether it has been completed and filed in compliance with the requirements of this Rule. Upon approval of the application, the executive director shall notify the applicant and shall also give notice of the registration to the supreme court clerk and the district court clerk for the county in which the law firm's Nevada office is located. If the application is incomplete, the executive director shall give the applicant written notification of the deficiencies in the application. The applicant shall have 30 days from the date of mailing of the notice of the deficiencies to cure the deficienciesand complete the application. If the application is not completed within the allotted time, the executive director shall reject the application. (e) Application or certificate containing false information. A lawyer who causes to be filed an application or certificatecontaining false information shall be subject to the disciplinary jurisdiction of the State Bar of Nevada with respect to such action and the firm shall be disqualified fromregistering to practice in Nevada. (f) Violation of conditions. If the State Bar of Nevada determines that the firm is in violation of the conditions set forth in paragraph (c)(5) of this Rule, the executive director of the state bar may, upon 20 days' notice, revoke the registration and the right of the firm to practice in Nevada. The executive director shall notify the supreme court clerk and the district court clerk for the county in which the law firm's Nevada office is located of the suspension. and 8.4
Rule 8.4. Misconduct. It is professional misconduct for a lawyer to: (a) Violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another; (b) Commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects; (c) Engage in conduct involving dishonesty, fraud, deceit or misrepresentation; (d) Engage in conduct that is prejudicial to the administration of justice; (e) State or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of Professional Conduct or other law; or (f) Knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law.
36 DECISION AND ORDER
Based upon the foregoing Findings of Fact and Conclusions of Law, the Panel hereby orders that Respondents be sanctioned as follows:
1. Respondent Breck shall be foreverbarred from the practice of Law in the State of
Nevada, whether as a Nevada-licensed attorney or via a petition for admission pro hac vice. The
State Bar of Nevada shall transmit these Findings of Fact, Conclusions of Law, Decision and
Order to the State Bar of Alaska, and to any and all jurisdictions in which Breck is licensed or authorized to practice law with a request for the imposition of reciprocal discipline.
2. Respondent The Public Interest Law Firm. Inc .. by and through its President,
Director, Secretary and Treasurer, William Breck, or through any successors, shall be forever barred from the practice of law in the State of Nevada in any capacity, whether as a for-profit or a not-for-profit entity, with or without a resident Nevada attorneyof record, or via a petition for admission pro hac vice.
3. William Breck is ordered to pay the costs incurred 111 the course of this disciplinary proceeding to the State Bar of Nevada, in the amount of$ ______
4. William Breck. The Public Interest Law Firm, and their successors and assigns, shall return to all TPI clients any and all funds they accepted as retainers that cannot be directly attributed to services rendered to or otherwise accounted forwith regard to that specific client.
DA TED this_ day of September, 2012
Caren Cafferata-Jenkins, Esq., Chair Formal Hearing Panel